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ASIC
Financial planning
ASIC has cancelled the licence of a margin foreign exchange business for making frequent changes to one of its user platforms, but failing to document them. ...
Financial planning
ASIC has flagged concerns about social media posts by a Bitcoin miner, announcing its intension to list on the ASX, despite not having lodged documentation with the regul...
Financial planning
ASIC warns retail investors against the risks of dealing with unlicensed binary options providers singling out Opteck.com in specific warning. ...
Financial planning
Macquarie Equities Limited has completed the two year term of its enforceable undertaking reducing it adviser numbers in Macquarie Private Wealth by 25 per cent....
Editorial
Former FPA chairman, Matthew Rowe argues that the changing dynamics impacting the financial planning industry makes it inevitable that some organisations will wither and ...
Financial planning
The ASIC adviser register is intended to be up and running on 31 March....
Financial planning
Constant flip flopping of FOFA laws have left advisers in limbo over what regulations constitute as law, Holly Nethercote believes....
Financial planning
Product manufacturers need to ensure their services and compliance procedures are up to standard, with ASIC set to take a hard-line approach in 2015, according to legal e...
Accounting
Accountants moving to become licensed have been given a generous run but are failing in high numbers when applying for a licence according to a former ASIC licensing spec...
Financial planning
Adviser sentiment has plunged to its lowest level in two years across several measures as the financial advice profession is mired in negative publicity....
Financial planning
The chairman of Australia’s corporate regulator and his staff spent $45,000 in the second half of last year on international business travel, more than 80 per cent of whi...
Financial planning
A Bundaberg-based building society has agreed to review its lending practices after ASIC raised concerns that it relied too heavily on information from a finance broker....
Superannuation
ASIC warns that legislative moves which curtail its ability to access telecommunications data warrants will risk another Trio/Astarra....
Life/Risk
QBE will ensure all future communications relating to escalated complaints and dispute resolution will have the company’s branding rather than an external legal firm’s, u...
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Podcast
So we are now underwriting criminal scams?...
Glad to see the back of you Steve. You made financial more expensive, not more affordable as you claim, and presided ...
Completely agree Peter. The definition of 'significant change is circumstances relevant to the scope of the advice' is s...